80 FR 12242 - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22 To Update the Names of Certain Market Data Products
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 80, Issue 44 (March 6, 2015)
Federal Register Volume 80, Issue 44 (March 6, 2015)
| Page Range | 12242-12244 | |
| FR Document | 2015-05157 |
[Federal Register Volume 80, Number 44 (Friday, March 6, 2015)] [Notices] [Pages 12242-12244] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2015-05157] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-74402; File No. SR-BYX-2015-12] Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22 To Update the Names of Certain Market Data Products March 2, 2015. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on February 18, 2015, BATS Y-Exchange, Inc. (the ``Exchange'' or ``BYX'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange has designated this proposal as a ``non-controversial'' proposed rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b- 4(f)(6)(iii) thereunder,\4\ which renders it effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 17 CFR 240.19b-4. \3\ 15 U.S.C. 78s(b)(3)(A). \4\ 17 CFR 240.19b-4(f)(6)(iii). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange filed a proposal to amend Rule 11.22, Data Products, to update the names of certain products to align with recent changes made to the names of the same products in the Exchange's fee schedule. The text of the proposed rule change is available at the Exchange's Web site at www.batstrading.com, at the principal office of the Exchange, and at the Commission's Public Reference Room. [[Page 12243]] II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant parts of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend Rule 11.22, Data Products, to update the names of certain products to align with recent changes made to the names of the same products in the Exchange's fee schedule. On February 3, 2015, the Exchange filed a proposed rule change with the Commission that, among other things, amended the Exchange's fee schedule to rename ``BZX Exchange PITCH Feed'' as the ``BZX Depth'', ``BZX Exchange Top Feed'' as ``BZX Top'', ``BZX Exchange Historical TOP'' as ``BZX Historical Top'', and ``Historical PITCH'' as ``Historical Depth.'' The Exchange now proposes to rename the following data products under Rule 11.22 to align with these changes: (i) ``TCP PITCH'' under subparagraph (a) would be renamed ``TCP Depth''; (ii) ``Multicast PITCH'' under subparagraph (c) would be renamed ``Multicast Depth''; and (iii) ``TOP'' under subparagraph (d) would be renamed ``Top''. The Exchange does not propose to amend the content or any other aspect of these market data products. 2. Statutory Basis The Exchange believes that its proposal is consistent with Section 6(b) of the Act \5\ in general, and furthers the objectives of Section 6(b)(5) of the Act \6\ in particular, in that it is designed to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and a national market system and, in general, to protect investors and the public interest. The Exchange does not believe that this proposal will permit unfair discrimination among customers, brokers, or dealers because it will apply to all Users. The proposed rule change does not propose to amend the content or any other aspect of these market data products. Rather, it is simply proposes to align the naming convention of the Exchange's market data products across its rules and fee schedule, making the Exchange's rules clearer and less confusing for investors. Therefore, the Exchange believes the proposed rule change removes impediments to and perfects the mechanism of a free and open market and a national market system, and, in general, protects investors and the public interest. --------------------------------------------------------------------------- \5\ 15 U.S.C. 78f(b). \6\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposal will impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act. The proposed rule change is not designed to address any competitive issues but rather avoid investor confusion by providing consistency amongst the naming conventions used for the Exchange market data products. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A)(iii) of the Act \7\ and subparagraph (f)(6) of Rule 19b-4 thereunder.\8\ --------------------------------------------------------------------------- \7\ 15 U.S.C. 78s(b)(3)(A)(iii). \8\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement. --------------------------------------------------------------------------- A proposed rule change filed under Rule 19b-4(f)(6) \9\ normally does not become operative prior to 30 days after the date of the filing. However, pursuant to Rule 19b-4(f)(6)(iii),\10\ the Commission may designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has asked the Commission to waive the 30-day operative delay so the Exchange may clarify its rules by making them consistent throughout by reflecting a change in naming conventions used for Exchange market data products. The Commission believes that waiving the 30-day operative delay is consistent with the protection of investors and the public interest because it will allow the Exchange to provide consistency within their rules and avoid potential investor confusion. Therefore, the Commission hereby waives the 30-day operative delay and designates the proposed rule change to be operative upon filing with the Commission.\11\ --------------------------------------------------------------------------- \9\ 17 CFR 240.19b-4(f)(6). \10\ 17 CFR 240.19b-4(f)(6)(iii). \11\ For purposes only of waiving the operative delay for this proposal, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). --------------------------------------------------------------------------- At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic CommentsUse the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or Send an email to [email protected]. Please include File Number SR-BYX-2015-12 on the subject line. Paper Comments Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549. All submissions should refer to File Number SR-BYX-2015-12. This file number should be included on the subject line if email is used. To help the [[Page 12244]] Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-BYX-2015-12 and should be submitted on or before March 27, 2015. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\12\ --------------------------------------------------------------------------- \12\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Brent J. Fields, Secretary. [FR Doc. 2015-05157 Filed 3-5-15; 8:45 am] BILLING CODE 8011-01-P
![12242 Federal Register / Vol. 80, No. 44 / Friday, March 6, 2015 / Notices
address any competitive issue but rather Commission summarily may available publicly. All submissions
would provide the public and investors temporarily suspend such rule change if should refer to File Number SR–NYSE–
with information about which data it appears to the Commission that such 2015–09 and should be submitted on or
feeds the Exchange uses for execution action is necessary or appropriate in the before March 27, 2015.
and routing decisions. public interest, for the protection of For the Commission, by the Division of
investors, or otherwise in furtherance of Trading and Markets, pursuant to delegated
C. Self-Regulatory Organization’s
the purposes of the Act. If the authority.18
Statement on Comments on the
Commission takes such action, the Brent J. Fields,
Proposed Rule Change Received From
Commission shall institute proceedings Secretary.
Members, Participants, or Others
to determine whether the proposed rule
No written comments were solicited [FR Doc. 2015–05164 Filed 3–5–15; 8:45 am]
should be approved or disapproved.
or received with respect to the proposed BILLING CODE 8011–01–P
rule change. IV. Solicitation of Comments
Interested persons are invited to
III. Date of Effectiveness of the SECURITIES AND EXCHANGE
submit written data, views and
Proposed Rule Change and Timing for COMMISSION
arguments concerning the foregoing,
Commission Action
including whether the proposed rule
Because the proposed rule change [Release No. 34–74402; File No. SR–BYX–
change is consistent with the Act. 2015–12]
does not (i) significantly affect the Comments may be submitted by any of
protection of investors or the public the following methods: Self-Regulatory Organizations; BATS
interest; (ii) impose any significant Y-Exchange, Inc.; Notice of Filing and
burden on competition; and (iii) become Electronic Comments
Immediate Effectiveness of a Proposed
operative for 30 days from the date on • Use the Commission’s Internet
Rule Change To Amend Rule 11.22 To
which it was filed, or such shorter time comment form (http://www.sec.gov/
Update the Names of Certain Market
as the Commission may designate, the rules/sro.shtml); or
• Send an email to rule-comments@ Data Products
proposed rule change has become
effective pursuant to section 19(b)(3)(A) sec.gov. Please include File Number SR– March 2, 2015.
of the Act 13 and Rule 19b–4(f)(6) NYSE–2015–09 on the subject line. Pursuant to Section 19(b)(1) of the
thereunder.14 Paper Comments Securities Exchange Act of 1934 (the
A proposed rule change filed ‘‘Act’’),1 and Rule 19b–4 thereunder,2
pursuant to Rule 19b–4(f)(6) under the • Send paper comments in triplicate
notice is hereby given that on February
Act 15 normally does not become to Secretary, Securities and Exchange
18, 2015, BATS Y-Exchange, Inc. (the
operative for 30 days after the date of its Commission, 100 F Street NE.,
‘‘Exchange’’ or ‘‘BYX’’) filed with the
filing. However, Rule 19b–4(f)(6)(iii) 16 Washington, DC 20549–1090.
Securities and Exchange Commission
permits the Commission to designate a All submissions should refer to File (‘‘Commission’’) the proposed rule
shorter time if such action is consistent Number SR–NYSE–2015–09. This file change as described in Items I and II
with the protection of investors and the number should be included on the below, which Items have been prepared
public interest. The Exchange has asked subject line if email is used. To help the by the Exchange. The Exchange has
the Commission to waive the 30-day Commission process and review your designated this proposal as a ‘‘non-
operative delay so that the proposal may comments more efficiently, please use controversial’’ proposed rule change
become operative immediately upon only one method. The Commission will pursuant to Section 19(b)(3)(A) of the
filing. The Exchange stated that waiver post all comments on the Commission’s Act 3 and Rule 19b–4(f)(6)(iii)
of the operative delay will permit the Internet Web site (http://www.sec.gov/ thereunder,4 which renders it effective
Exchange to immediately provide the rules/sro.shtml). Copies of the upon filing with the Commission. The
enhanced transparency in Exchange submission, all subsequent Commission is publishing this notice to
rules. The Commission believes the amendments, all written statements solicit comments on the proposed rule
waiver of the operative delay is with respect to the proposed rule change from interested persons.
consistent with the protection of change that are filed with the
investors and the public interest. Commission, and all written I. Self-Regulatory Organization’s
Therefore, the Commission hereby communications relating to the Statement of the Terms of Substance of
waives the operative delay and proposed rule change between the the Proposed Rule Change
designates the proposal operative upon Commission and any person, other than The Exchange filed a proposal to
filing.17 those that may be withheld from the amend Rule 11.22, Data Products, to
At any time within 60 days of the public in accordance with the update the names of certain products to
filing of the proposed rule change, the provisions of 5 U.S.C. 552, will be align with recent changes made to the
available for Web site viewing and names of the same products in the
13 15 U.S.C. 78s(b)(3)(A).
14 17
printing in the Commission’s Public Exchange’s fee schedule.
CFR 240.19b–4(f)(6). As required under Rule
19b–4(f)(6)(iii), the Exchange provided the
Reference Room, 100 F Street NE., The text of the proposed rule change
Commission with written notice of its intent to file Washington, DC 20549, on official is available at the Exchange’s Web site
the proposed rule change, along with a brief business days between the hours of at www.batstrading.com, at the
description and the text of the proposed rule 10:00 a.m. and 3:00 p.m. Copies of the
change, at least five business days prior to the date principal office of the Exchange, and at
mstockstill on DSK4VPTVN1PROD with NOTICES
of filing of the proposed rule change, or such
filing also will be available for the Commission’s Public Reference
shorter time as designated by the Commission. inspection and copying at the principal Room.
15 17 CFR 240.19b–4(f)(6). office of the Exchange. All comments
16 17 CFR 240.19b–4(f)(6)(iii).
received will be posted without change; 18 17 CFR 200.30–3(a)(12).
17 For purposes only of waiving the 30-day
the Commission does not edit personal 1 15 U.S.C. 78s(b)(1).
operative delay, the Commission has also
considered the proposed rule’s impact on
identifying information from 2 17 CFR 240.19b–4.
efficiency, competition, and capital formation. See submissions. You should submit only 3 15 U.S.C. 78s(b)(3)(A).
15 U.S.C. 78c(f). information that you wish to make 4 17 CFR 240.19b–4(f)(6)(iii).
VerDate Sep<11>2014 18:59 Mar 05, 2015 Jkt 235001 PO 00000 Frm 00105 Fmt 4703 Sfmt 4703 E:\FR\FM\06MRN1.SGM 06MRN1](https://thefederalregister.org/doc/80_FR_12286/page/1.svg)
![12244 Federal Register / Vol. 80, No. 44 / Friday, March 6, 2015 / Notices
Commission process and review your Waste Water Company and California Department of State, 2200 C Street NW.,
comments more efficiently, please use Living Waters, Inc. (‘‘Green Compass’’), Washington, DC 20037.
only one method. The Commission will 2775 North Ventura Road, Suite 209, You must include the DS form
post all comments on the Commission’s Oxnard, CA 93036. The financing was number (if applicable), information
Internet Web site (http://www.sec.gov/ contemplated to provide capital that collection title, and the OMB control
rules/sro.shtml). Copies of the contributes to the growth and overall number in any correspondence.
submission, all subsequent sound financing of Green Compass. FOR FURTHER INFORMATION CONTACT:
amendments, all written statements The financing is brought within the Direct requests for additional
with respect to the proposed rule purview of § 107.730(a)(1) because C3 information regarding the collection
change that are filed with the Capital Partners II, L.P., an Associate of listed in this notice, including requests
Commission, and all written C3 Capital Partners III, L.P., as defined for copies of the proposed collection
communications relating to the in § 107.50, owns a ten percent or instrument and supporting documents,
proposed rule change between the greater equity interest in Green to Joshua Miller, U.S. Department of
Commission and any person, other than Compass. Accordingly, Green Compass State, 2200 C Street NW., Washington,
those that may be withheld from the is considered an Associate of C3 Capital DC 20037, who may be reached on 202–
public in accordance with the Partners III, L.P. 632–3251 or at MillerJL4@state.gov.
provisions of 5 U.S.C. 552, will be Notice is hereby given that any
SUPPLEMENTARY INFORMATION:
available for Web site viewing and interested person may submit written
• Title of Information Collection:
printing in the Commission’s Public comments on the transaction to the
R/PPR Research Surveys.
Reference Room, 100 F Street NE., Associate Administrator, Office of
• OMB Control Number: None.
Washington, DC 20549, on official Investment and Innovation, U.S. Small
• Type of Request: New Collection.
business days between the hours of Business Administration, 409 Third
• Originating Office: Office of Policy
10:00 a.m. and 3:00 p.m. Copies of such Street SW., Washington, DC 20416.
Planning and Resources for the
filing also will be available for Dated: February 25, 2015. Undersecretary for Public Diplomacy
inspection and copying at the principal Javier E. Saade, and Public Affairs—R/PPR.
office of the Exchange. All comments Associate Administrator, Office of Investment • Form Number: SV–2015–0003.
received will be posted without change; and Innovation. • Respondents: General populations
the Commission does not edit personal [FR Doc. 2015–05320 Filed 3–5–15; 8:45 am] of select foreign countries.
identifying information from BILLING CODE P • Estimated Number of Respondents:
submissions. You should submit only 100,000.
information that you wish to make • Estimated Number of Responses:
available publicly. All submissions 100,000.
DEPARTMENT OF STATE
should refer to File Number SR–BYX– • Average Time per Response: 6
2015–12 and should be submitted on or [Public Notice 9060] minutes.
before March 27, 2015. • Total Estimated Burden Time:
60-Day Notice of Proposed Information
For the Commission, by the Division of 10,000 hours.
Collection: R/PPR Research Surveys
Trading and Markets, pursuant to delegated • Frequency: Each country will be
authority.12 surveyed on occasion.
Notice of request for public
ACTION:
Brent J. Fields, comment. • Obligation to Respond: Voluntary.
Secretary. We are soliciting public comments to
[FR Doc. 2015–05157 Filed 3–5–15; 8:45 am] SUMMARY: The Department of State is permit the Department to:
BILLING CODE 8011–01–P seeking Office of Management and • Evaluate whether the proposed
Budget (OMB) approval for the information collection is necessary for
information collection described below. the proper functions of the Department.
SMALL BUSINESS ADMINISTRATION In accordance with the Paperwork • Evaluate the accuracy of our
Reduction Act of 1995, we are estimate of the time and cost burden for
[License No. 07/07–0118] requesting comments on this collection this proposed collection, including the
from all interested individuals and validity of the methodology and
Notice Seeking Exemption under organizations. The purpose of this
Section 312 of the Small Business assumptions used.
Investment Act, Conflicts of Interest,
notice is to allow 60 days for public • Enhance the quality, utility, and
comment preceding submission of the clarity of the information to be
C3 Capital Partners III, L.P. collection to OMB. collected.
Notice is hereby given that C3 Capital DATES: The Department will accept • Minimize the reporting burden on
Partners III, L.P., 1511 Baltimore Ave., comments from the public up to May 5, those who are to respond, including the
Suite 500, Kansas, MO 64108, a Federal 2015. use of automated collection techniques
Licensee under the Small Business ADDRESSES: You may submit comments or other forms of information
Investment Act of 1958, as amended by any of the following methods: technology.
(the ‘‘Act’’), in connection with the • Web: Persons with access to the Please note that comments submitted
financing of a small concern, has sought Internet may comment on this notice by in response to this Notice are public
an exemption under Section 312 of the going to www.Regulations.gov. You can record. Before including any detailed
mstockstill on DSK4VPTVN1PROD with NOTICES
Act and 13 CFR 107.730, Financings search for the document by entering personal information, you should be
which Constitute Conflicts of Interest, of ‘‘Docket Number: DOS–2015–0011’’ in aware that your comments as submitted,
the Small Business Administration the Search field. Then click the including your personal information,
(‘‘SBA’’) Rules and Regulations. C3 ‘‘Comment Now’’ button and complete will be available for public review.
Capital Partners III, L.P., provided a the comment form.
Abstract of Proposed Collection
loan to Green Compass f/k/a Santa Clara • Email: MillerJL4@state.gov.
• Regular Mail: Send written Department of State will be surveying
12 17 CFR 200.30–3(a)(12). comments to: Joshua Miller, U.S. the general populations of select foreign
VerDate Sep<11>2014 18:59 Mar 05, 2015 Jkt 235001 PO 00000 Frm 00107 Fmt 4703 Sfmt 4703 E:\FR\FM\06MRN1.SGM 06MRN1](https://thefederalregister.org/doc/80_FR_12286/page/3.svg)
Document Created: 2018-02-21 09:33:33
Document Modified: 2018-02-21 09:33:33
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| FR Citation | 80 FR 12242 |
2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR